maintain such status when the renewal application is filed. 2. The Contacts approved on a basis of being an approved or registered investor contact with a regulatory organization on capital market of a
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Certified Public Accountants (AICPA), Financial Executives International (FEI), the American Accounting Association (AAA), The Institute of Internal Auditors (IIA), and the Institute of Management Accountants
ในต่างประเทศส่วนใหญ่ จะทาํหนา้ที 3 ดา้น กล่าวคือ (1) เป็นองคก์ร กาํกบัดูแลตนเอง (self-regulatory organization) (2) เป็นสมาคมการคา้ (trade association) เพือบริการสมาชิก และ (3) เป็นสถาบนัความรู้ของ
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Clause 4 (1): □ (1) Certificate from the organization controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
follows: (a) In case of foreign ETF established by an investment company, the Memorandum of Association and the Articles of Association, or the Establishment of Company under the law of the jurisdiction